Regulatory Alerts2007-03-31
Added · Updated
Spring 2007 Securities Bulletin
The Connecticut Department of Banking revoked the broker-dealer registration of Great Eastern Securities, Inc., and imposed fines of $300,000 on Crystal Sky Enterprises, LLC, $25,000 on Energy Automation Systems, Inc., $750,000 on Royal Alliance Associates, Inc., $5,000 each on Roll-A-Cover, LLC and Michael P. Morris, $25,000 on Millenco, L.L.C., and $250 on Richard W. Wiegand for various securities law violations. The Department issued Notices of Intent to Deny registration to Moran Capital Management, Inc. and Frederick Augustus Moran, and issued Cease and Desist Orders with pending fine notices against 4 L.I.F.E., Inc., Terry Mayfield, and HCH Cypress, LLC. Additionally, the Department entered Consent Orders directing WMD Task Force, Inc. and John A. Bucciarelli to cease violations and restricting Bucciarelli from securities business for five years, and directing Condor Investment Advisors, LLC and Wiegand to cease unregistered advisory activity.
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